James J. Sedotto
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Joseph Sedotto SR, who also goes by James Joseph Sedotto, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2019 - October 26, 2022
VANGUARD ADVISERS, INC.
March 22, 2012 - October 26, 2022
VANGUARD MARKETING CORPORATION
May 19, 2006 - February 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2005 - February 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2004 - May 3, 2005
NEW ENGLAND SECURITIES
January 30, 2003 - January 6, 2004
WS GRIFFITH SECURITIES, INC.
November 9, 2001 - August 1, 2002
H.C.WAINWRIGHT & CO., LLC
February 28, 2000 - June 5, 2001
JOSEPHTHAL & CO., INC.
May 1, 1995 - February 7, 2000
SANDS BROTHERS & CO., LTD.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
